KHUSHBU DAVE
Chartered Accountant | Internal Auditor
Summary
Self-motivated Internal Auditor with strong analytical and interpersonal skills along with proven work history in the field of financial services for over 7 years. Experienced at understanding key risks, controls and efficient in using independent decision making skills to effectively deliver work responsibilities.
Overview
7
7
years of professional experience
8
8
years of post-secondary education
Work History
Associate
J P Morgan Chase
07.2022 - Current
- Lead audits periodically as per yearly audit plans and liaise with audit team to facilitate junior staff with their responsibilities and ensure timelines are met.
- Partner with Data Specialists (Data Analytics Team) to design audit tests and validate completeness of population independently.
- Efficiently present detailed status of tests and audit observations to stakeholders to finalize findings and obtain management action plans.
- Prepare final audit report and review documentation completed by audit staff to ensure audit methodology standards are complied with.
- Independently conduct walkthrough meetings with stakeholders and executes testing of controls implemented by management within Operations divisions of retail banking.
Deputy Manager
Protiviti
09.2021 - 07.2022
- Conducted review of processes and testing of controls implemented by management of a Corporate Treasury function of an Indian multinational conglomerate.
- Worked as a consultant with Banking and Financial Services company to perform review of action plans implemented by management for trade reporting issues raised by OSC (Ontario Securities Commission).
- Participated in audit of DMA (Designated Market Activity) as directed by FRB (Federal Reserve Board) for a leading Investment Bank and Financial Services organization to cover Conduct Risk aspects.
- Managed with various tasks including conducting walkthroughs, performing DEA (Design Effectiveness Assessment) and OEA (Operating Effectiveness Assessment) of controls, preparation of RCM (Risk Control Matrix) and documentation for various projects.
Associate
Morgan Stanley
11.2018 - 08.2021
- Managed with independently performing end to end audits of Operations division beginning with understanding processes to be covered, testing of controls, documentation in line with audit methodology and communication of audit findings to management of the organization.
- Participated as an audit staff for audits such as CASS (Client Money and Assets), Collateral Management, Transaction Reporting and Payment Solutions.
- Provided detailed status of audit tests and audit findings to global audit team and business stakeholders periodically.
- Conducted regular quarterly meetings with business stakeholders to obtain updates on changes occurred within their divisions.
- Performed closure verification of issues identified in prior audits to ensure remedial actions are adequately and timely implemented.
- Conducted review of RCSA (Risk Control Self-Assessment) and ORI (Operational Risk Incidents) reporting process of Operations division.
Associate
Aneja Associates
04.2016 - 10.2018
- Independently reviewed compliances with Portfolio Management Regulations wherein performed review of the process of generating investor holding report, process of valuation of securities and compliance with SEBI regulations
- Independently performed operational audit of various segments of Clearing-Settlement & Risk Management for a leading clearing corporation
- Independently conducted operational review of areas such as Inspection, Arbitration, Investor Servicing and Member Compliance.
Education
Chartered Accountant -
The Institute of Chartered Accountants of India (ICAI)
01.2010 - 01.2015
Bachelor of Commerce -
Ahmedabad University
06.2009 - 04.2012
Skills
Risk Assessment
Controls TestingCritical Thinking
Analytical Skills
Data Analysis (Alteryx)
M S Office (Excel, Word, Power Point, Visio)
Timeline
Associate
J P Morgan Chase
07.2022 - Current
Deputy Manager
Protiviti
09.2021 - 07.2022
Associate
Morgan Stanley
11.2018 - 08.2021
Associate
Aneja Associates
04.2016 - 10.2018
Chartered Accountant -
The Institute of Chartered Accountants of India (ICAI)
01.2010 - 01.2015
Bachelor of Commerce -
Ahmedabad University
06.2009 - 04.2012